Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Christian Thomas is a financial professional with over 14 years of experience in the industry. Charles has a strong track record of success in the financial services industry, having worked with Stifel, Nicolaus & Company, Inc. since April 2022. Prior to joining Stifel, Nicolaus & Company, Inc., Charles was associated with Vining-Sparks IBG, LLC and FTN Financial Securities Corp. Charles holds a variety of licenses and designations, including Series 63, Series 66, Series 14, Series 53, Series 24, Series 52TO, SIE, Series 87, and Series 7. Charles is a registered representative with Stifel, Nicolaus & Company, Inc. Charles specializes in portfolio management for individuals and businesses, pension consulting, and financial planning. Charles is dedicated to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
04/22/2022 - Present
Stifel, Nicolaus & Company, Inc. (MEMPHIS TN)
TN
06/08/2011 - 09/27/2023
VINING-SPARKS IBG, LLC (MEMPHIS TN)
TN
10/03/2008 - 06/03/2011
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
BC
Issued 02/08/2022
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 05/02/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 04/27/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/02/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/02/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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